securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
investors and specify additional assumption if applicable. In this regard, an auditor approved by the SEC shall be appointed to audit and give an opinion or show confidence in such consociated financial
advisors or intermediaries for the offer for sale of securities: disclose additional information on the terms and conditions of such debt; · Other cases: disclose at least the amount of money and the
and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific services: (a) investment analysis for capital market
) shall together select another arbitrator to be the chairman of the arbitrator panel. If the respondent refuses to have three arbitrators or the respondent does not show his intention whether or not to
regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on
, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each